13F-HR 1 t23325.txt CURRENT HOLDINGS REPORT FOR 9/30/01 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2001 ------------------ Check here if Amendment [ ]; Amendment Number: ___ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Morton H. Sachs & Company, DBA The Sachs Company ------------------------------------------------ Address: 1346 South Third Street ------------------------------------------------ Louisville, Kentucky 40208 ------------------------------------------------ Form 13F File Number: 28-1718 ------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: A. Nicholas Sachs --------------------------------- Title: President --------------------------------- Phone: (502) 636-5282 --------------------------------- Signature, Place, and Date of Signing: \S\ Louisville, Kentucky October 30, 2001 ------------------ -------------------- ---------------- [Signature] [City, State] [Date] Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report. [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File NumberName 28- _________________ ________________- [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None --------------- Form 13F Information Table Entry Total: 96 --------------- Form 13F Information Table Value Total: $ 100,273 --------------- (thousands) List of other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 28-1718 ------ ---------- ---------------------- [Repeat as necessary.]

~~THE~~The ~~SACHS~~Sachs ~~COMPANY~~Company ~~FORM~~Form 13F ~~INVESTMENT~~CUSIP ~~DESCRETION~~Market ~~VOTING~~Investment ~~AUTHORITY~~Descretion ~~CUSIP~~Voting ~~MARKET~~Authority ----------------------------- ----------------------------- ~~NAME~~Name OFof ~~ISSUER~~Issuer ~~NUMBER~~Number ~~VALUE~~Value ~~SHARES~~Shares (Aa)~~SOLE~~ Sole (Bb)~~SHARE~~ Shared (Cc)~~OTHER~~ ~~MANAGER~~Other (Aa)~~SOLE~~ Sole (Bb)~~SHARED~~ Shared (Cc)~~OTHER~~ ~~--------------~~Other ~~------ ------ ------- -------- --------- -------- ------- ------- --------- --------~~ ABBOTT LABORATORIES 002824100 ~~$740~~814,~~883~~045 15,700 X 15,700 ABIOMED INC 003654100 ~~726~~747,~~075~~716 4642,~~100~~800 X 4642,~~100~~800 AEGON NV 007924103 ~~669~~1,~~040~~070,726 2241,~~881~~024 X 2241,~~881~~024 AIR PRODUCTS & CHEMIC 009158106 ~~278~~279,~~323~~628 7,248 X 7,248 AIRTRAN HOLDINGS INC 00949P108 195,040 46,000 X 46,000 AMERICAN ~~EXPRESS~~INTL COGROUP ~~025816109~~I 026874107 309,894 3,973 X 3,973 AMERISERV FINANCIAL I 03074A102 1,~~515~~844,~~710~~600 36401,~~700~~000 X 36401,~~700~~000 ANALOG DEVICES INC 032654105 ~~543~~490,~~600~~500 15,000 X 15,000 AREA BANCSHARES CORP 039872106 ~~309~~329,~~357~~970 19,410 X 19,410 BP AMOCO LP ADR 055622104 ~~660~~654,~~492~~502 13,311 X 13,311 BANK OF AMERICA 060505104 ~~271~~289,~~012~~080 4,950 X 4,950 BANK ONE CORP 06423A103 1,~~601~~324,~~146~~981 4442,~~255~~103 X 4442,~~255~~103 BARCLAYS BK PLC ADR E 06738C836 ~~710~~403,~~515~~678 2715,550 X 2715,550 BARNES & NOBLE INC 067774109 ~~554~~801,~~480~~420 2322,200 X 2322,200 BELLSOUTH CORP 079860102 ~~640~~633,~~562~~804 15,~~654~~254 X 15,~~654~~254 ~~BRISTOL~~BEST ~~MYERS~~BUY ~~SQUIBB~~INC ~~110122108~~086516101 ~~896~~409,~~940~~050 159,~~100 X 15,100 CALIFORNIA WTR SVC GR 130788102 228,800 8,~~000 X 89,000 ~~CAPITAL~~BRISTOL ~~ONE~~MYERS ~~FINANCIAL~~SQUIBB ~~14040H105~~110122108 1838,~~314,518~~956 2315,~~685~~100 X 2315,~~685~~100 CHEVRON CORP 166751107 ~~392,~~378,748 4,469 X 4,469 CHIEF CONSOLIDATED MI 168628105 3953,~~250~~775 1522,~~700 X 15,700 CHIRON CORP COM 170040109 241,312 5,~~500 X 522,500 CHURCHILL DOWNS INC 171484108 ~~590~~305,~~654~~360 1911,~~334~~000 X 1911,~~334~~000 CINERGY CORP 172474108 ~~447~~376,~~892~~614 1312,~~350~~200 X 1312,~~350~~200 CITIGROUP INC 172967101 ~~762~~710,~~141~~532 1617,~~944~~544 X 1617,~~944~~544 COMPASS BANCSHARES IN 20449H109 2,~~148~~498,~~188~~880 ~~100~~96,~~500~~000 X ~~100~~96,~~500~~000 ~~DPL INC 233293109 258,520 9,200 X 9,200~~ DISNEY, WALT CO 254687106 ~~343~~223,~~200~~440 12,000 X 12,000 ~~EARTHLINK~~EXXON ~~COM~~MOBIL ~~270321102~~CORPORATI 130231G102 2,~~067~~355,~~000~~568 8859,~~000~~786 X 8859,~~000~~786 ~~ECHOSTAR~~FEDERAL ~~COMMUN~~RLTY ~~CORP~~INVT ~~278762109~~TR ~~276,875~~313747206 101,~~000 X 10~~124,~~000~~200 ~~EXXON MOBIL CORPORATI 30231G102 2~~51,~~635,740~~100 ~~32,540~~ X 3251,~~540~~100 FELCOR LODGING TR INC 31430F101 21,~~398~~002,~~275~~025 ~~104~~74,500 X ~~104~~74,500 FIFTH THIRD BANCORP 316773100 ~~370~~628,~~860~~694 610,~~940~~226 X 610,~~940~~226 FIRST TENN NATL CORP 337162101 1,~~307~~491,~~070~~100 4240,300 X 4240,300 ~~FIRST UNION CORP 337358105 669,867 20,299 X 20,299~~ FOREST LABORATORIES I 345838106 ~~710~~865,~~880~~680 12,000 X 12,000 ~~FORTUNE BRANDS INC 349631101 294,670 8,566 X 8,566~~ General Electric Co. 369604103 1,~~329~~079,~~934~~581 3129,~~771~~021 X 3129,~~771~~021 GENERAL MOTORS CORP 370442105 ~~432~~336,~~947~~765 87,~~350~~850 X 87,~~350~~850 ~~GM HUGHES ELECTRONIC 370442832 429,000 22,000 X 22,000~~ GOLDEN ST VINTNERS IN 38121K208 1,~~845~~246,~~663~~688 ~~238~~228,~~150~~750 X ~~238~~228,~~150~~750 GREY GLOBAL GROUP INC 39787M108 21,~~721~~161,~~600~~300 42,~~200~~100 X 42,~~200~~100 HEALTH NET INC 42222G108 2,~~906~~306,~~010~~400 ~~141~~120,000 X ~~141~~120,000 HILTON HOTELS CORP CO 432848109 21,~~907~~330,~~713~~575 ~~278~~169,~~250~~500 X ~~278~~169,~~250~~500 ~~HSBC~~HUMANA ~~BANK~~INC ~~PLC~~444859102 ~~44328M609~~1,591,920 ~~680~~132,~~604~~000 25X 132,~~800~~000 HUNTINGTON BANCSHARES 446150104 280,855 16,225 X 2516,~~800~~225 ISTAR FINL INC COM 45031U101 ~~322~~4,~~980~~596,670 14186,~~000~~100 X 14186,~~000~~100 ~~IMMUCOR~~IMCLONE SYSTEMS INC ~~452526106~~45245W109 42226,~~000~~200 124,000 X 124,000 ~~INTERNATIONAL~~IMMUCOR ~~BUSINES~~INC ~~459200101~~452526106 ~~807~~47,~~912~~850 811,~~400~~000 X 811,~~400~~000 ~~JDN~~INTERLEUKIN ~~RLTY~~GENETICS ~~CORP~~458738101 ~~COM 465917102 147~~28,~~030~~990 13,000 X 13,000 ~~J.P.~~INTERNATIONAL ~~MORGAN~~BUSINES ~~CHASE~~459200101 ~~& C 46625H100 366~~489,~~384~~190 85,~~160~~300 X 85,~~160~~300 ~~KAMAN~~J.P. ~~CORP~~MORGAN CLCHASE A& ~~483548103~~C ~~163~~46625H100 268,~~750~~419 107,~~000~~860 X 107,~~000~~860 KERR MCGEE CORP ~~CVT~~492386107 ~~7.5 492386AL1 777~~674,~~000~~830 ~~777~~13,000 X ~~777~~13,000 KROGER CO 501044101 ~~780~~1,~~096~~065,631 3043,248 X 3043,248 LEGG MASON INC 524901105 ~~252~~238,~~600~~560 6,000 X 6,000 ~~LIBERTY~~MCKESSON ~~FINL~~HBOC ~~COS~~ INC ~~530512102~~58155Q103 ~~270~~831,~~400~~380 622,~~500~~000 X 622,~~500~~000 ~~MARRIOTT~~MCLEODUSA ~~INTERNATIONA~~INC ~~571903202~~COM ~~230,608~~582266102 57,~~600~~700 ~~X 5~~10,~~600 MCKESSON HBOC INC 58155Q103 588,500 22,~~000 X 2210,000 MERCK & CO INC 589331107 ~~298~~217,~~894~~516 3,~~938~~266 X 3,~~938~~266 MIDLAND CO 597486109 ~~285~~365,~~750~~400 9,000 X 9,000 NATIONAL CITY CORP 635405103 21,~~144~~591,~~173~~423 8053,~~156~~136 X 8053,~~156~~136 NATIONWIDE HEALTH PPT 638620104 23,~~383~~189,~~332~~195 ~~142~~162,~~800~~300 X ~~142~~162,~~800~~300 NORTH FORK BANCORP IN 659424105 2,~~389~~575,~~736~~187 9286,~~090~~590 X 9286,~~090~~590 NORTHFIELD LABORATORI 666135108 572,440 44,000 X 44,000 NOVARTIS AG SPONSORE 66987V109 3,~~065~~578,~~774~~694 7791,950 X 7791,950 OHIO CASUALTY CORP 677240103 2,~~277~~800,~~193~~644 ~~242~~215,~~100~~600 X ~~242~~215,~~100~~600 ORBITAL SCIENCE CORP. 685564AC0 470,750 700,000 X 700,000 OXFORD HEALTH PLANS I 691471106 ~~535~~772,~~000~~480 2027,~~000~~200 X 2027,~~000~~200 PNC FINANCIAL CORP 693475105 21,~~557~~874,~~224~~079 3732,~~745~~735 X 3732,~~745~~735 PACIFIC NORTHWEST BAN 69466M103 ~~655~~597,~~844~~272 3329,~~850~~350 X 3329,~~850~~350 PACIFICARE HLTH SYS I 695112102 74,~~318~~212,~~225~~614 ~~294~~334,~~200~~600 X ~~294~~334,~~200~~600 PAYCHEX INC 704326107 220,570 7,000 X 7,000 PFIZER INC 717081103 2,~~534~~357,~~191~~880 6158,~~885~~800 X 6158,~~885~~800 PHILADELPHIA SUBURBAN 718009608 ~~250~~219,~~914~~271 108,~~650~~350 X 108,~~650~~350 PHILIP MORRIS COS INC 718154107 ~~752~~668,~~082~~816 1513,850 X 1513,850 PHILLIPS PETROLEUM CO 718507106 ~~341~~334,~~310~~428 6,200 X 6,200 PROCTER & GAMBLE COMP 742718109 1,~~493~~736,~~573~~697 23,859 X 23,859 ~~PROVIDENT FINANCIAL G 743866105 213,047 7,575 X 7,575~~ PROVIDIAN FINANCIAL C 74406A102 ~~553~~918,~~971~~034 1145,~~294~~560 X 1145,~~294~~560 PULASKI FINANCIAL COR 745548107 ~~231~~335,~~000~~500 22,000 X 22,000 QUALCOMM INC 747525103 32,~~251~~729,~~408~~747 57,420 X 57,420 RFS HOTEL INVESTORS I 74955J108 21,~~235~~339,~~712~~290 ~~154~~129,400 X ~~154~~129,400 ~~REGIS~~RAILAMERICA ~~CORP~~INC ~~758932107~~COM 2750753105 227,~~497,219~~250 ~~170~~18,~~750~~180 X ~~170~~18,~~750~~180 ~~ROYAL~~RAYMOND BKJAMES ~~SCOTLAND~~FINANCI ~~GRO~~754730109 ~~780097887 371~~298,~~250~~650 1511,000 X 1511,000 ~~SARA~~REGIS ~~LEE~~ CORP ~~803111103~~758932107 13,~~834~~264,~~300~~520 85155,750 X 155,750 ROYAL BK SCOTLAND GRO 780097887 423,980 17,000 X 8517,000 SENIOR HSG PPTYS TR S 81721M109 23,~~181~~033,~~309~~648 ~~193~~225,550 X ~~193~~225,550 ~~SOUTHERN CO 842587107 301,774 8,600 X 8,600~~ SOUTHWEST GAS CORP 844895102 ~~202~~201,~~245~~400 9,~~700~~500 X 9,~~700~~500 ~~SPRINT~~SOVEREIGN ~~CORP~~BANCORP ~~COM~~INC ~~852061100~~845905108 ~~879~~142,~~600~~500 4015,000 X 4015,000 SUNRISE ASSISTED LIVI 86768K106 13,~~525~~029,~~820~~859 77117,~~500~~300 X 77117,~~500~~300 SUNTRUST BANKS INC 867914103 ~~226~~299,~~800~~700 34,500 X 34,500 SYSCO CORP 871829107 ~~678~~653,~~656~~824 25,600 X 25,600 TBC CORP 872180104 6098,~~625~~800 10,000 X 10,000 TJX COS INC 872540109 205,164 6,236 X 6,236 T-NETIX INC 872597109 ~~191~~178,~~491~~200 5764,800 X 5764,800 ~~TELEFONICA~~TARGET SCORP A87612E106 ~~879382208 248~~317,~~601~~600 510,~~190~~000 X 510,~~190~~000 ~~TRICO~~TRICON ~~BANCSHARES~~GLOBAL ~~896095106~~RESTAUR 1895953107 352,~~490,125~~980 919,000 X 919,000 ~~TRICON~~TRICO ~~GLOBAL~~BANCSHARES ~~RESTAUR~~896095106 ~~895953107 477~~1,~~375~~794,900 1293,~~500~~000 X 1293,~~500~~000 U S BANCORP 902973304 1,~~122~~086,~~323~~953 4849,~~376~~006 X 4849,~~376~~006 UNION PLANTERS CORP 908068109 12,~~678~~230,~~164~~800 4352,~~600~~000 X 4352,~~600~~000 ~~UNISYS~~VECTOR ~~CORP~~GROUP ~~909214108~~LTD ~~157~~COM 92240M108 3,~~360~~072,151 1171,~~240~~880 X 1171,~~240~~880 ~~USBANCORP~~VERIZON ~~INC~~COMMUNICATION PA92343V104 ~~COM 917292104 397~~214,~~894~~817 873,~~200~~970 X 873,~~200~~970 ~~WAL-MART~~WACHOVIA ~~STORES~~GROUP ~~INC~~COM ~~931142103~~929903102 ~~217~~361,~~150~~057 411,~~300~~647 X 411,~~300~~647 WAVE SYSTEMS CORP 943526103 ~~142~~52,~~822~~897 31,300 X 31,300 WEBSTER FINANCIAL COR 947890109 43,~~402~~787,~~813~~763 ~~150~~114,~~200~~920 X ~~150~~114,~~200~~920 ~~WELLS~~XO ~~FARGO~~COMMUNICATIONS &INC CO983764101 ~~949746101 314~~4,~~135~~100 610,~~350~~000 X 610,~~350~~000 ~~------------------------ -----------~~ TOTAL ~~$101~~100,~~987~~273,~~160~~150 5,~~116~~479,~~533~~507 5,~~116~~479,~~533 ======================== ===========~~507

Filing Compare · SACHS MORTON H & CO /KY/